Compliance

A new supervisory review highlights incident learning and ICT risk management among key gaps in DORA compliance.

The report detailed Canada’s coordination across its government and its capacity to analyze and use financial intelligence, while noting a few areas for improvement.

The DPAs from Estonia, Latvia, and Lithuania are intensifying cooperation amid AI and national security concerns.

FINRA enforcement activity covering September 5 – September 25.

In addition to corrective powers, the EDPB suggests that Data Protection Authorities (DPAs) follow a five-step approach when deciding fines.

Zordani discusses how modern organizations can produce consequential outcomes that no individual person actually chose.

Voice spot inspection by AMF highlights deficiencies and room for improvement at asset management firms.

The number of US initial public offerings increased 16% year over year, while proceeds raised climbed nearly 400%, according to DERA.